RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
N••••••• M••• S•••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Henderson, Nv
- S••••••••• A•••••• A•••••••• I••• formerJan 23, 2009 to Jun 14, 2024 · Redwood City, Ca
- B••••• • Y•••• A•••••••• I••• formerJun 27, 2008 to Jan 23, 2009 · Folsom, Ca
- S••••• F•••••••• S•••••••• I•• unclassifiedSep 27, 2007 to May 1, 2008 · Sacramento, Ca
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- B••••• • Y•••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jan 23, 2009, registered Jan 23, 2009 (0 days) · corporate re-registration, not a move
- S••••• F•••••••• S•••••••• I•• to B••••• • Y•••• A•••••••• I•••left May 1, 2008, registered Jun 27, 2008 (57 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address